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Regulation NN Policy

$175.00

The purpose of this Regulation NN Policy Template is to address how a financial institution adheres to Regulation NN – “Retail Foreign Exchange” to ensure that a financial institution maintains an effective program for the management of retail foreign exchange (forex) transactions in accordance with all applicable laws, rules, and regulations.

Description

Regulation NN Policy

The purpose of this Regulation NN Policy Template is to address how a financial institution adheres to Regulation NN – “Retail Foreign Exchange” to ensure that a financial institution maintains an effective program for the management of retail foreign exchange (forex) transactions in accordance with all applicable laws, rules, and regulations.

Table of Contents

Purpose and Contents – Topic 1

Policy Statement – Topic 2

Definitions – Topic 3

Structure of Accountability – Topic 4

Prohibited Transactions – Topic 5

Regulatory Approval and Filing Procedures – Topic 6

Application and Close-Out – Topic 7

Disclosure – Topic 8

Capital and Margin Requirements – Topic 9

Reporting to Customers – Topic 10

Unlawful Representations – Topic 11

Authorization to Trade – Topic 12

Trading and Operational Standards – Topic 13

Notice of Transfers – Topic 14

Customer Dispute Resolution – Topic 15

Reservation of Authority – Topic 16

Audit Policy – Topic 17

Staff Training – Topic 18

Retention of Documentation – Topic 19

This Regulation NN Policy Template (approximately 28 pages) is available to purchase from BankPolicies.com in Microsoft® Word format for $175.00.

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